RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
G••• M•••••• S••••••
- C••••••• P••••••• independent RIA currentsince Mar 1, 2022 · Washington, Dc
- L•••••• I••••••••• A•••••••• L•• no RAUMApr 19, 2017 to Dec 17, 2021 · Washington, Dc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 31, 2017 to Apr 3, 2017 · Baltimore, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedDec 12, 2016 to Jan 19, 2017 · Owings Mills, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedNov 1, 2012 to Dec 31, 2014 · Owings Mills, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedSep 24, 2010 to Nov 1, 2012 · Owings Mills, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedMar 2, 2004 to Aug 6, 2004 · Baltimore, Md
- L•••••• I••••••••• A•••••••• L•• to C••••••• P•••••••left Dec 17, 2021, registered Mar 1, 2022 (74 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•••••• I••••••••• A•••••••• L••left Apr 3, 2017, registered Apr 19, 2017 (16 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 19, 2017, registered Jan 31, 2017 (12 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to T• R••• P•••• A••••••• S•••••••• I•••left Aug 6, 2004, registered Sep 24, 2010 (2240 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address